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Raymond James Financial Services, Inc.

Raymond James Financial Services, Inc. (CRD #6694, St. Petersburg, Florida) received a censure and fine of $12,500. According to the findings, the firm failed to report accurately municipal principal transactions. The regulators also found that the firm failed to adopt, maintain, and enforce supervisory procedures reasonably designed to ensure compliance with Municipal Securities Rulemaking Board (MSRB) rules relating to trade reporting in that it failed, among other things, to properly test municipal trade reports for accuracy. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C07040085)

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